FINRA OTC Transparency Data Website User Guide Version 3 · 2016. 9. 29. · FINRA OTC Transparency Data Website User Guide Version 3.0 4 Overview As announced in Regulatory Notice

OTC Transparency (ATS and Non-ATS)

Data Website User Guide

September 28, 2016

Version 3

FINRA OTC Transparency Data Website User Guide Version 3.0 2

This OTC Transparency Data Website User Guide is being made available for informational purposes

only. It is solely for the purpose of interacting with FINRA’s OTC Transparency Data Website. This

User Guide is proprietary to FINRA. FINRA reserves the right to withdraw, modify, or replace the User

Guide at any time, without notice. No obligation is made by FINRA regarding the level, scope, or timing

of FINRA’s implementation of the functions or features discussed in this User Guide. THE USER

GUIDE IS “AS IS”, “WITH ALL FAULTS” AND FINRA MAKES NO WARRANTIES, AND

DISCLAIMS ALL WARRANTIES, EXPRESSED, IMPLIED, OR STATUTORY RELATED TO THE

USER GUIDE. FINRA IS NOT LIABLE FOR ANY INCOMPLETENESS OR INACCURACIES, OR

FOR ANY CONSEQUENTIAL, INCIDENTAL, OR INDIRECT DAMAGES RELATING TO THE

USER GUIDE OR ITS USE. It is further agreed by you by using this User Guide, that you agree not to

copy, reproduce, or permit access to the information contained in, the User Guide except to those with a

need-to-know for the purpose noted above.

Copyright 2016, FINRA. All Rights Reserved.

Data Disclaimer

The screenshots herein include artificial data for demonstration purposes only. Nothing about the actual

performance or presentation of the Website should be inferred from the screenshots. FINRA reserves the right to

change the screens at any time, without notice.


TABLE OF CONTENTS

Overview ..................................................................................................................... 4 FINRA OTC Transparency Data Website ........................................................................ 6 Contacts.......................................................................................................................... 6 Web Application Overview .............................................................................................. 7

Masthead Links ........................................................................................................... 7 User Certification ......................................................................................................... 8

Issue Data tabs ....................................................................................................... 9 ATS Issue Data ................................................................................................... 9 OTC (Non-ATS) Issue Data ............................................................................... 11

Details Pages ........................................................................................................ 14 ATS Details Page .............................................................................................. 14 OTC (Non-ATS) Details Page ............................................................................ 15 ATS Blocks Details Page ................................................................................... 16

Data tabs ............................................................................................................... 17 ATS Data tab ..................................................................................................... 17 OTC (Non-ATS) Data tab .................................................................................. 19

Statistics tabs ........................................................................................................ 22 ATS Statistics tab .............................................................................................. 22 OTC (Non-ATS) Statistics tab ............................................................................ 23

ATS Blocks tabs .................................................................................................... 24 Download tabs ...................................................................................................... 26

ATS Download tab............................................................................................. 26 ATS Blocks Download tab ................................................................................. 28 OTC (Non-ATS) Download tab .......................................................................... 30

Automation of Download Instructions ............................................................................ 33 Helpful hints/data action icons ....................................................................................... 34 Appendix A: Revision History ........................................................................................ 35


Overview

As announced in Regulatory Notice 14-07, on January 17, 2014, the SEC approved a proposed rule change to (i)

adopt FINRA Rule 4552 to require each ATS to report to FINRA weekly equity volume information and number of

securities transactions within the ATS (ATS reporting requirement); and (ii) amend FINRA Rules 6160, 6170, 6480

and 6720 to require each ATS to acquire and use a single, unique MPID when reporting information to FINRA

(MPID requirement). As part of these requirements, FINRA makes the reported volume and trade count information

for equity securities publicly available on its website as described below.

FINRA publishes on its website the reported information in each equity security for each ATS for each week.

FINRA publishes the aggregate reported information regarding NMS stocks in Tier 1 of the NMS Plan to Address

Extraordinary Market Volatility on a two-week delayed basis. FINRA publishes the information on all other NMS

stocks and OTC Equity Securities subject to FINRA trade reporting requirements on a four-week delayed basis.

As announced in Regulatory Notice 2015-48 the SEC approved a proposed rule change to amend Rules 6110 and

6610 to expand the transparency initiative by publishing Non-ATS OTC equity volume.

FINRA publishes on its website the reported information in each equity security for each Non-ATS that meets the

volume threshold1 or as an aggregated “De minimis Firms” calculation for each week or month. FINRA publishes

the aggregate reported information regarding NMS stocks in Tier 1 of the NMS Plan to Address Extraordinary

Market Volatility on a two-week delayed basis. FINRA publishes the information on all other NMS stocks and OTC

Equity Securities subject to FINRA trade reporting requirements on a four-week delayed basis. FINRA publishes

monthly OTC Non-ATS data on a one month delay publishing on the first Monday (or next business day) of the

following month. Beginning on April 25, 2016 weekly reports will be published and monthly reports will begin on

June 6, 2016.

Information regarding specific questions about OTC Transparency reporting and publication can be found in the

OTC Transparency section of the FINRA Website available at: http://www.finra.org/OTC-Transparency.

As announced in Regulatory Notice 2016-14 the SEC approved a proposed rule change to amend Rule6110 to

expand the transparency initiative by publishing ATS Block equity volume in NMS stocks.

FINRA will expand the ATS Transparency initiative by publishing ATS Block Data. The ATS Block Data is

aggregated ATS trade data in NMS stocks that meets certain share based and dollar based thresholds and is reported

by member firms to the FINRA equity trade reporting facilities (i.e., the Alternative Display Facility and the FINRA

Trade Reporting Facilities). The data will be aggregated across all NMS stocks on a monthly basis and will be able

to be filtered by ATS. ATS Block data will be available on a one month delay, publishing on the first Monday (or

1 Trading Information for firms with “de minimis” OTC equity volume outside of an ATS, i.e., on average fewer

than 200 transactions per day across all securities during the applicable Trading Information period, is aggregated

and published on a non-attributed basis. In addition, Trading Information is further aggregated for member firms

that have executed on average fewer than 200 transactions per day in a given security during the applicable Trading

Information period. For the weekly non-ATS data, the de minimis threshold is calculated separately for Tier 1 NMS

stocks, other NMS stocks and OTC Equity Securities, and for the monthly non-ATS data, the de minimis threshold

is calculated separately for NMS stocks (not broken down by tier) and OTC Equity Securities.

http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p446087.pdf

http://www.finra.org/sites/default/files/Regulatory-Notice-15-48.pdf

http://www.finra.org/Industry/Compliance/MarketTransparency/ATS/index.htm

http://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-16-14.pdf


next business day) of the following month. Beginning on Monday, October 3, 2016, the monthly reports will be

published.


FINRA OTC Transparency Data Website

FINRA publishes the weekly and monthly data on the OTC Transparency Data Website that is viewable by all users

alike.

Upon accessing the website the user is able to view and filter the weekly published data for ATS Transparency and

weekly or monthly published data for OTC (Non-ATS) Transparency.

This includes:

Issue Data

Firm Data

Statistics

Filters

1. Issue

2. Report Date

3. Report Type

Download Reports

Contacts

FINRA Contact Information:

General Product Inquiries; product functionality [email protected]

General Product Inquiries; product functionality FINRA Operations

866.776.0800

[email protected]

Legal Issues FINRA Office of General Counsel

202.728.8071

Product implementation and enhancement

information

FINRA Product Management

866.899.2107

[email protected]

mailto:[email protected]




Web Application Overview The OTC Transparency Data Website is designed for ease of use. The sections that follow in the User Guide

describe in detail how to use all functionality available on the website and how to interpret the data that is returned.

Home Page – https://otctranparency.finra.org

Figure 1 Home Page and Masthead

Masthead Links

These links are located in the top right corner of the Home Page and are accessible throughout all screens. The user

can access them at any time when viewing the website. Users wishing to return to the Home Page can do so by

clicking on the FINRA logo at the top of the Masthead.

FINRA Home

Navigates the user to a new tab at www.FINRA.org. FINRA.org is the main FINRA website which provides the user

with links to such topics as education, compliance and transparency.

About FINRA

Navigates the user to a new tab at www.FINRA.org/AboutFINRA. This page provides the user with information

about the FINRA organization and includes links to such topics as Annual Reports, Operating and Holiday

Schedule, Locations, and Contacts.

Newsroom

Navigates the user to a new tab at www.FINRA.org/Newsroom. This page provides the user with links to such

topics as News Releases, Speeches and Testimony, Statistics and Data, and Investor Alerts.

Contact

Navigates the user to a new tab at www.FINRA.org/contact-finra. This page provides the user with links to contacts

for the Industry, Investor, Arbitration, and General inquiries.

https://otctranparency.finra.org/

http://www.finra.org/





User Certification

The user must certify in the affirmative upon each visit to the webpage to access the OTC Transparency data.

The User must read the Terms of Use and certify using the “I Agree” or “I Disagree” button. Further details are

provided directly below regarding these buttons.

Clicking “I Disagree” will result in the following message:

After clicking “I Disagree” and receiving the message above, you may either close the window to leave the

application, or else click “I Agree” to continue. Clicking “I Agree” will result in accessing the “ATS Issue Data”

page of the OTC Transparency Data Website.


Issue Data tabs

ATS Issue Data

This page is the initial page and displays Total Shares and Total Trades per security symbol for a specific report for

a specific report type for all ATSs. This page includes filter capabilities.

Display default is to the most current Weekly Report for NMS Tier 1 stocks in alphabetical order.

Each Column heading may be used to sort the entire list. Each click of a column heading toggles the sort between

ascending and descending order.

The following Column headings are included on this grid:

Symbol: Assigned by the primary listing market (NMS stocks), or by FINRA (OTCE symbols).

Description: Company name associated with the symbol.

Total Shares: Aggregate weekly total number of shares reported by all ATSs for the symbol.

Total Trades: Aggregate weekly total number of trades reported by all ATSs for the symbol.

Last Updated: Most recent date on which total trades and/or total shares is updated based on data received from all

ATSs.

Detail: Clicking the icon launches a pop-up screen with data details for the security per ATS. Refer to the Details

Page section for more information.


Filters are available in the left hand navigation that allow the user to isolate data for a specific security or view an

earlier published weekly report than the most current for a report category.

Issue:

Search criteria uses “contains” logic and results are in alphabetical order by symbol.

Symbol: Assigned by the primary listing market (NMS stocks) or by FINRA (OTCE symbols).

Issue Name: Company name associated with the symbol.

Weekly Report: Provides the user access to the twenty-seven (27) most current weeks of published reports.

Report:

NMS Tier 1: Stocks included in the S&P 500, Russell 1000 and select exchange-traded products.

NMS Tier 2: Contains all other NMS stocks.

OTCE: Contains all Over-the-Counter equity securities.

This page is the initial page and displays Total Shares and Total Trades per security symbol for a specific weekly

report for a specific report type. This page includes filter capabilities.


OTC (Non-ATS) Issue Data

This page is the initial page and displays Total Shares and Total Trades per security symbol for a specific report for

a specific report type for all non-ATS trade data reported by member firms. This page includes filter capabilities.

Display default is to the most current Weekly Report for NMS Tier 1 stocks in alphabetical order.



The following Column headings are included on this grid:

Symbol: Assigned by the primary listing market (NMS stocks), or by FINRA (OTCE symbols).

Description: Company name associated with the symbol.

Total Shares: Aggregate weekly total number of shares reported by all member firms (excluding ATS data) for the

symbol.

Total Trades: Aggregate weekly total number of trades reported by all member firms ( excluding ATS data) for the

symbol.


member firms reporting non-ATS trade data.

Detail: Clicking the icon launches a pop-up screen with data details for the security per member firm or as an

aggregated “De minimis Firms” calculation. Refer to the Details Page section for more information.




View: Weekly

View: Determines the Report State Dates available for selection and the Reports available for the date selected.

Issue:




Report Start Date: Weekly View: Provides the user access to the twenty-seven (27) most current weeks of published reports.

Report:

Weekly View:





View: Monthly


Issue:




Month: Provides the user access to the six (6) most current months of published reports.

Report:

Monthly View:

NMS: Contains all NMS stocks without Tier designations.

OTCE: Contains all Over-the-Counter Equity securities.


Details Pages

ATS Details Page

Provides full security and report details for the selected symbol on the Issue Data tab for all ATSs.

Total shares and total trades are broken down per reporting ATS.

Note: Data shown is sample data and does not reflect any actual volume or number of trades.


Description: ATS MPID and Company name associated with the symbol.

Product: SIP trade feed or over-the-counter equities identifying the full set of symbols disseminated on the specific

trade feed.

Total Shares: Aggregate weekly total number of shares reported by all ATSs for the symbol.

Report: NMS Tier 1, NMS Tier 2, OTCE.

Week of: Reflects first day of reporting week.

Total Trades: Aggregate weekly total number of trades reported by all ATSs for the symbol.


OTC (Non-ATS) Details Page

Provides full security and report details for the selected symbol on the Issue Data tab for all member firms

(excluding ATSs) or as an aggregated “De minimis Firms” calculation.

Total shares and total trades are broken down per member firm (excluding ATS data).



Description: Company name.


trade feed.

Total Shares: Aggregate weekly total number of shares reported by member firms (excluding ATS data) for the

symbol.

Report: NMS Tier 1, NMS Tier 2, OTCE.

Week of: Reflects first day of reporting week.

Total Trades: Aggregate weekly total number of trades reported by all member firms (excluding ATS data) for the

symbol.

OTC (Non-ATS) Description: Member firm name or “De minimis Firms” volume associated with the symbol.

Shares: Total shares reported by the member firm (excluding ATS data) in the security for the report week.

Shares Last Updated Date: Date on which shares were updated by the specific member firm.

Trades: Total trades reported by the member firm in the security for the report week.

Trades Last Updated Date: Date on which trades were updated by the specific member firm.


ATS Blocks Details Page

Provides aggregated report details for the selected ATS MPID on the ATS Blocks tab.

All statistics are broken down per reporting ATS.


ATS MPID: ATS MPID.

ATS Activity – Total Trades: Total of all ATS trades (block and non-block) by ATS MPID.

ATS Activity – Average Trade Size: Based on the total of all ATS trades and shares traded (block and non-block)

by ATS MPID.

ATS Market Share - Trades: Percentage of ATS Total Trades of the Grand Total of all ATS Trades by ATS

MPID.

ATS Rank - Trades: Rank of ATS Trades Market Share per ATS MPID as compared to all other ATS MPIDs

Market Share Trades (block and non-block).

ATS Block Activity - Trades: Total of all ATS Trades that meet Block Trade report criteria by ATS MPID.

ATS Block Activity – Average Trade Size: Based on the total of ATS Block trades and shares traded by ATS

MPID.

ATS Block Market Share - Trades: Percentage of ATS Block Trades of the Grand Total of all ATS Block Trades

by ATS MPID.

ATS Block Rank - Trades: Rank of ATS Block Trade Market Share per ATS MPID as compared to all other ATS

MPIDs Block Trades.

ATS Block Business Share - Trades: Percentage of ATS Block Trades of their ATS Total Trades by ATS MPID.

ATS Block Business Share Rank - Trades: Rank of ATS Block Trade Business Share per ATS MPID as

compared to all other ATS MPIDs Block Trades Business Share.

MPID Last Updated: Most recent date on which total trades and/or total shares is updated based on data received

from the specific ATS’ trade data.

Firm Name: ATS Company name.

ATS Activity – Total Shares: Total of all ATS shares traded (block and non-block) by ATS MPID.

ATS Activity – Average Trade Size Rank: Rank of ATS Average Trade Size per ATS as compared to all other

ATS MPIDs Average Trade Sizes.

ATS Market Share - Shares: Percentage of ATS Total Shares Traded of the Grand Total of all ATS Shares Traded

by ATS MPID.

ATS Rank - Shares: Rank of ATS Shares traded Market Share per ATS MPID as compared to all other ATS

MPIDs Market Share of Shares Traded (block and non-block).

ATS Block Activity - Shares: Total of ATS Shares traded that meet Block Trade report criteria by ATS MPID.

ATS Block Activity – Average Trade Size Rank: Rank of ATS Average Block Trade Size per ATS MPID as

compared to all other ATS MPIDs Average Block Trade Sizes.

ATS Block Market Share - Shares: Percentage of ATS Block Shares Traded of the Grand Total of all ATS Block

Shares Traded by ATS MPID.


ATS Block Rank - Shares: Rank of ATS Block Market Share per ATS MPID as compared to all other ATS MPIDs

Market Share of Shares Traded.

ATS Block Business Share - Shares: Percentage of ATS Block Shares Traded of their ATS Total Shares Traded by

ATS MPID.

ATS Block Business Share Rank - Shares: Rank of ATS Block Shares Traded Market Share per ATS MPID as

compared to all other ATS MPIDs Block Shares Traded Business Share.

Report Date: Report month.

Data tabs

ATS Data tab

Displays Total Shares and Total Trades reported per ATS for a specific weekly report for a specific report type.

This page includes filter capabilities.



The following Column headers are included on this grid:

Name: ATS MPID and Company name associated with the symbol.

Total Shares: Aggregate weekly total number of shares reported by the specific ATSs for the symbol.

Total Trades: Aggregate weekly total number of trades reported by the specific ATSs for the symbol.

Last Updated: Most recent date on which total trades and/or total shares is updated based on data received from the

ATSs.




Weekly Report: Provides the user access to the twenty-seven (27) most current weeks of published reports.

Report:





OTC (Non-ATS) Data tab

Displays Total Shares and Total Trades for non-ATS trade data reported per member firm or as an aggregated “De

minimis Firms” calculation for a specific weekly report for a specific report type.

This page includes filter capabilities.




Name: Company name or “De minimis Firms”.

Total Shares: Aggregate weekly total number of shares reported by the specific member firm (excluding ATS data)

or aggregate “De minimis Firms” volume calculation for the symbol.

Total Trades: Aggregate weekly total number of trades reported by the specific member firm (excluding ATS data)

or aggregate “De minimis Firms” volume calculation for the symbol.


member firms.




View: Weekly


Issue:




Report Start Date: Weekly View: Provides the user access to the twenty-seven (27) most current weeks of published reports.

Report:

Weekly View:





View: Monthly


Issue:




Month: Provides the user access to the six (6) most current months of published reports.

Report:

Monthly View:




Statistics tabs

ATS Statistics tab

Displays Aggregate Total Shares and Total Trades reported by all ATSs for the report week for all securities

associated with a Product. The statistics are updated on a 4-week delay.



trade feed.

Total Shares: Aggregate weekly total number of all shares reported by all ATSs for all symbols.

Total Trades: Aggregate weekly total number of all trades reported by all ATSs for all symbols.


OTC (Non-ATS) Statistics tab

Displays Aggregate Total Shares and Total Trades for non-ATS trade data reported by all member firms for the

report week for all securities associated with a Product. The statistics are updated on a 4-week delay.



trade feed.

Total Shares: Aggregate weekly total number of all shares reported by all member firms (excluding ATS data) for

all symbols.

Total Trades: Aggregate weekly total number of all trades reported by all member firms (excluding ATS data) for

all symbols.


ATS Blocks tabs

Displays a list of reports for each report month of all report types that have been published and the date on which the

specific report was last updated. This page includes filter capabilities.




ATS MPID: ATS MPID.

Firm Name: ATS Company Name.

ATS Activity Total Trades: Aggregate monthly total number of trades (block and non-block) reported by ATS

MPID.

ATS Activity Total Shares: Aggregate monthly total number of shares traded (block and non-block) reported by

ATS MPID.

ATS Activity Average Trade Size: Based on the total of all ATS trades and shares traded (block and non-block) by

ATS MPID.

ATS Block Activity (report criteria) Trades: Total of trades that meet Block Trade report criteria by ATS MPID.

ATS Block Activity (report criteria) Shares: Total of shares traded that meet Block Trade report criteria by ATS

MPID.

ATS Block Activity (report criteria) Average Trade Size: Based on the total of ATS Block trades and shares

traded by ATS MPID.

ATS Block Activity (report criteria) Average Trade Size Rank: Rank of ATS Block Average Trade Size by ATS

MPID as compared to all other ATS MPIDs Average Block Trade Sizes.

Last Updated: Most recent date on which trades and/or shares columns are updated based on data received from an

ATS MPID.




Month: the Report months available for selection.

Report:

10K+ Shares – Statistics based on all trades reported with a shares traded quantity of 10,000 or more per ATS

MPID.

$200K+– Statistics based on all trades reported with a notional value (Price times shares) of $200,000 or more per

ATS MPID.

10K+ - AND - $200K+– Statistics based on all trades reported with a shares traded quantity of 10,000 or more and a

notional value of $200,000 or more per ATS MPID.

2K to <10K– Statistics based on all trades reported with a shares traded quantity of 2,000 to 9,999 per ATS MPID.

$100K to <$200K– Statistics based on all trades reported with a notional value (Price times shares) of $100,000 to

$199,999 per ATS MPID.

2K to <10K AND $100K to <$200K – Statistics based on all trades reported with a shares traded quantity of 2,000

to 9,999 and a notional value (Price times shares) of $100,000 to $199,999 per ATS MPID.


Download tabs

ATS Download tab

Displays a list of reports for each report week for all report types that have been published and the date on which the





Year: Year of the published report date.

Week: Reflects first day of reporting week.

Report Type: NMS Tier 1, NMS Tier 2, OTCE


ATSs.

Download: Launches a separate window containing the data for the specific report in delimited format. Refer to the

Download icon section below for additional information.




Year: Provides the user access to all historical published weekly reports within the year selected.

Report:




Download icon Clicking on the icon to download a specific report will launch a new window with delimited data.


ATS Blocks Download tab

Displays a list of reports for each report week of all report types that have been published and the date on which the






Month: Reflects month and year of report period.

Report Type: 10K+ Shares, $200K+, 10K_ AND $200K+, 2K to <10K, $100K to < $200K, 2K to < 10K AND

$100K

Last Updated: Most recent date on which total trades and/or total shares traded is updated based on data received

from all ATSs.







Report: 10K+ Shares – Statistics based on all trades reported with a shares traded quantity of 10,000 or more per ATS

MPID.

$200K+– Statistics based on all trades reported with a notional value (Price times shares) of $200,000 or more per

ATS MPID.

10K+ - AND - $200K+– Statistics based on all trades reported with a shares traded quantity of 10,000 or more and a

notional value of $200,000 or more per ATS MPID.

2K to <10K– Statistics based on all trades reported with a shares traded quantity of 2,000 to 9,999 per ATS MPID.

$100K to <$200K– Statistics based on all trades reported with a notional value (Price times shares) of $100,000 to

$199,999 per ATS MPID.

2K to <10K AND $100K to <$200K – Statistics based on all trades reported with a shares traded quantity of 2,000

to 9,999 and a notional value (Price times shares) of $100,000 to $199,999 per ATS MPID.



OTC (Non-ATS) Download tab

Displays a list of reports for each report week for all report types that have been published and the date on which the






Week: Reflects first day of reporting week.

Report Type: NMS Tier 1, NMS Tier 2, OTCE


Non-ATSs.






View: Weekly



Report:

Weekly:





View: Monthly


Year: Provides the user access to all historical published monthly reports within the year selected.

Report:

Monthly View:





Automation of Download Instructions The ATS Transparency file download process may be automated by firms using the following instructions.

Machine-download Instructions:

1. Go to the machine download page at:

https://otctransparency.finra.org/TradingDetailFileArchive/TradingDetailFilesDownloadGrid

2. Once on the download page, parse through the “tblTrading” HTML table.

Note: Parsing through the ATS data tables may be a different process depending on the application or methodology

used.

The ATS Blocks file download process may be automated by firms using the following instructions.



https://otctransparency.finra.org/ATSBlocksDetailFileArchive/ATSBlocksDetailFilesDownloadGrid


Note: Parsing through the ATS data tables may be a different process depending on the application or methodology

used.

The OTC (Non-ATS) Transparency file download process may be automated by firms using the following instructions.



https://otctransparency.finra.org/OTCTradingDetailFileArchive/OTCTradingDetailFilesDownloadGrid


Note: Parsing through the Non-ATS data tables may be a different process depending on the application or methodology used. The code developed to parse the table will be determined by each individual firm and will not be dictated or directed by FINRA.

https://otctransparency.finra.org/TradingDetailFileArchive/TradingDetailFilesDownloadGrid

https://otctransparency.finra.org/ATSBlocksDetailFileArchive/ATSBlocksDetailFilesDownloadGrid

https://otctransparency.finra.org/OTCTradingDetailFileArchive/OTCTradingDetailFilesDownloadGrid


Helpful hints/data action icons

The OTC Transparency Data Website is designed to be user friendly in order to assist the user in reviewing the

weekly published volume and transaction data. Many of the functions are intuitive. However, in order to ensure

users clearly understand how to most effectively use the website, a short description of many of the common tools

are described below. Specific Application functions, including field definitions and validations, workflow, and

screen shots are illustrated in earlier sections of this User Guide.

Web Application Tool Description/User Hint

Drop Down Boxes Users click on a drop down box to have filter criteria

presented and then click on the desired choice.

Radio Buttons These flag certain conditions that may be required to return

a specific report type.

Check Boxes These flag certain conditions that may be required to return

a specific report type or certification.

Text Boxes These are free form boxes that allow users to type in Issue

Symbol or Issue Name.

Combination Text/Drop Down Boxes These tools allow a choice of either typing in an entry (i.e.

Security symbol) or selecting the data item from a drop

down box.

Column Headings Users click on a column heading to change the data sort

from ascending to descending.

Icon Users click on the icon to launch a new page containing

report data for the specific report week and report type.

Icon Users click on the icon to launch the Details page.


Appendix A: Revision History

Version Date Changes

1.0 4/15/16 Initial draft

1.1 5/13/16 Automation of Download

Instructions updated with new

URLs.

2.0 6/1/16 Updated OTC (Non-ATS) pages

to include Monthly Reports and

associated navigation changes.

3.0 9/28/16 Updated to include ATS Block

pages and associated navigation

changes.

Documents

FINRA OTC Transparency Data Website User Guide Version 3 · 2016. 9. 29. · FINRA OTC Transparency Data Website User Guide Version 3.0 4 Overview As announced in Regulatory Notice